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Alex Ortolani , Senior Reporter June 10, 2025 1 Min Read SilverStar President and Lead Principal Tim Hudson Bluespring Wealth Partners, the registered investmentadvisor acquisition arm of Kestra Holdings , has acquired a former Kestra Advisory Services firm in the Houston metro area to merge with its LifeBridge Financial Group and create a $1.4
Mariner is seeking to bolster its independent registered investmentadvisor channel by hiring Rob Sandrew to oversee the division, which includes more than 1,100 advisors and about $40 billion in client assets. Marble joins from Private Advisor Group, where he was head of business development and advisor growth and engagement.
Introduction In today’s changing finance world, registered investmentadvisors (RIAs) must comply with the provisions of the marketing rule, including entering into a written agreement, and must not include any untrue statement of a material fact to stand out from others. A strong brand identity works like a magnet.
Boston-Area RIA by Diana Britton Jul 1, 2025 2 Min Read Investment Related Topics Alternative Investments Digital Assets Equities ETFs Fixed Income Investing Strategies Mutual Funds Real Estate SMAs Recent in Investment See All Alternative investment visualization with stacks of coins and percentage signs.
RBI requires all such NBFCs to be listed within three years, making the September 2025 deadline crucial for compliance. Karamtara Engineering Limited Karamtara Engineering is launching a ₹1,750 crore IPO, comprising a ₹1,350 crore fresh issue and a ₹400 crore offer for sale. crore shares. The face value is ₹10 per share.
Doing this puts the probabilities more on their side, with the bonus that fewer regulatory headaches, legal liability, and compliance issues occur – they more or less go away if you manage this kind of model properly. Now if only the Sell-side would get religion about fiduciary standards, I would stop hating on them so much.
Rob Nance, CEO and co-founder of Dispatch, a self-described data orchestration firm that helps advisory shops manage their data, talked with Chris Cook, the founder of a technology consultancy called Obsydian, who had spent almost nine years as a systems engineer at Mariner. Number 8860726.
The training will focus on equipping the leaders with the knowledge and skills that are needed to effectively manage cyber risks, ensure compliance with legislation, and foster a culture of cyber resilience within their organisation. Investors must therefore exercise due caution while investing or trading in stocks.
The decision to exclude a stock from F&O contracts can be based on various factors, including low liquidity, high volatility, or non-compliance with regulatory requirements. Written by Sridhar J Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in
One of the biggest challenges that most investmentadvisors face involves not just getting found online via search engines like Google, but getting found by the right audience at the right time – meaning a local one. A lot has changed even in the 40 years since the InvestmentAdvisor’s Act was last amended.
This microcap engineering company is engaged in manufacturing plastic engineering components and sub-assemblies after reporting a 67 percent growth in net profits. They derive their revenue from the manufacturing of plastic engineering components and sub-assemblies as of FY24. The stock was at Rs.
This could be a potential goldmine for scheduling consultations with quality prospects ready to talk to an advisor. Can independent registered investmentadvisors get into the Google Local Pack? The deadline for embracing the new SEC rules is this November, so I suggest all RIAs to start pivoting now.
As a financial advisor and investmentadvisor, you should share your knowledge in ways that build trust and show credibility. They may also prefer finding content through search engines. These include search engine optimization (SEO), content marketing, and email campaigns. Content marketing is key to SEO.
That led me down that track and really well, I had a software engineering job. Let, 00:04:08 [Speaker Changed] Let’s lead up to that transition software engineer at IBM, then you get your PhD, then research at Siemens, which seems to be more of a technological position than a finance position. My audio engineer is Kaylee Ro Tika.
But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. Bob Bragg is my audio engineer. You’re suggesting that’s the money-loser for that company? BERRUGA: Yeah. RITHOLTZ: So let’s talk about some more of these ETFs. I’m Barry Ritholtz.
Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.
I’m a former investmentadvisor representative with LPL Financial. I have a degree in economics, an MBA in marketing, I’m a lecturer at UCLA extension, and at Indigo marketing we work with 165 top independent financial advisors to do their marketing for them. I recommend using Calendly.
Women-owned businesses are a powerful engine in our economy. Number 8860726. Patricia M. Soldano June 11, 2025 3 Min Read The power of women-owned businesses is growing, and it’s getting noticed on Capitol Hill. According to a recent Wells Fargo women-owned businesses study, the statistics are impressive. enterprises and generate $2.7
Because there’s a company called Engine Number One, which says, here’s how we’re going to do it. The success of any strategy, the Grill investment management LLC may discuss or the success of any program. Nothing within this content constitutes legal investment or compliance advice.
So 00:09:10 [Speaker Changed] I know Orion for many years because from the RIA perspective, from a registered investmentadvisor perspective, clients want to know how their portfolios are doing, what their performance is, both in absolute terms and relative to benchmarks. John Wasserman is my audio engineer. That’s right.
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